SEBI

Postal Ballot Provisions

SEBI - Postal Ballot- Applicable Provisions: ♠ Sec 110 of Companies Act,2013 ♠ Rule 20 and 22 of Companies (Management and Administration) Rules, 2014 ♠ SS-2 (Secretarial Standard on General Meeting) ♠ SEBI (LODR) Regulation, 2015 Meaning: Postal Ballot means voting by ballot, post or through electronic means. Applicability: It applies o...

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Diverging corporate laws

SEBI - The government of India recently constituted a committee to enhance and create more opportunities by reshaping the existing rules and regulations. This is in relation to the Company Law for which SEBI (Securities Exchange Board of India) has come up with amendments providing a phased timeline from October 1, 2018 to April 1, 2020 for mos...

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Extended version of secretarial compliance

SEBI - BACKGROUND The SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 have been amended after the recommendation of the Kotak Committee to include the following Regulation: 24A: Secretarial Audit Every  listed  entity  and  its  material  unlisted  subsidiaries  incorporated  in  India  shall  undertake  sec...

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Draft Format of Certificate of Non-Disqualification of Directors

SEBI - Draft format for certificate under 10(i) of Part C of Schedule V of the SEBI (LODR) Regulations, 2015 According to SEBI LODR (fourth amendment) Regulation, which is effective from April 1, 2019, Every Listed Company is required to take a certificate from a Company Secretary in practice that none of the directors on the board […]...

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Secretarial Audit As A Tool For Good Corporate Governance

SEBI - Every Company, while carrying out its business activities, has to comply with the prescribed rules and regulations relating to the Companies Act, Securities laws, FEMA, Industry Specific laws and General and should also pursue the good governance practice Secretarial Audit covers non-financial aspects of the business having impact on the ...

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SEBI Discussion Paper on Review of Rights Issue Process

SEBI - The objective of this discussion paper is to seek comments / views from the public and market intermediaries on Review of Rights Issue Process....

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Review of SEBI (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015

SEBI - CONSULTATION PAPER Review of SEBI (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015 A. Objective: 1. To seek public comments on the proposals relating to SEBI (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015 (hereinafter referred to as “ILDM Regulations”) with a view to, inter...

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Format of Certificate of Non-Disqualification of Directors for listed companies

SEBI - CERTIFICATE OF NON-DISQUALIFICATION OF DIRECTORS (pursuant to Regulation 34(3) and Schedule V Para C clause (10)(i) of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015) To, The Members of (Name) (Registered Office) I/We have examined the relevant registers, records, forms, returns and disclosures received from ...

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Guidance Note on Annual Secretarial Compliance Report by ICSI

SEBI - Guidance Note on Annual Secretarial Compliance Report by ICSI highlights the process and scope of Annual Secretarial Compliance Report and also provides detailed checklists with respect to all mandatory laws as specified in the prescribed format by SEBI. Corporate Governance and Compliance are intricately linked. Governance is the overall...

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Cabinet approves creation of Post of Technical Member in SAT, Mumbai 

SEBI - The Union Cabinet chaired by Prime Minister Narendra Modi has approved the proposal for creation of the Post of Technical Member in Securities Appellate Tribunal (SAT), Mumbai at the level of Secretary to the Government of India in the pay scale of Rs. 2,25,000/- (fixed) or Level 17 of the Pay Matrix as per the […]...

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SC ask IBC and SEBI to join Process in ‘Ponzi scheme’ matter

Anant Kajare Vs. Eknath Aher & Anr.(Supreme Court) - Anant Kajare Vs. Eknath Aher & Anr. (Supreme Court) Battery of lawyers appeared in the high profile alleged ‘Ponzi scheme’ matter. This matter has been travelling to Supreme Court time and again. Previously, SEBI held that the scheme run by Citrus Check inn Limited and Royal Twinkle Star Clu...

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SEBI bars ‘Reliance Industries’ from accessing equity market

Re. Reliance Petroleum Ltd. (RPL) (SEBI) - Going by the facts narrated by Noticee No. 1, liquidation of 5 % stake was decided. The same had to be done in an orderly manner. There was no outer time fixed for liquidation. Being guided by the analysts reports and the price trends of the scrip, Noticee No. 1 decided to start the sale in November...

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Liability of Directors for Events Taken Place Before Appointment- SAT Ruling

Mr. Nimain Charan Biswal (Securities And Exchange Board Of India) - In one of the recent rulings of the SAT, Mumbai, the interim order passed by SEBI in the matter of Neesa Technologies Limited(Company) has been quashed qua one of the directors i.e. Mr. Nimain Charan Biswal who had joined and resigned from the directorship of the Company before the issuance of Non-c...

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Facebook friends may be treated as connected for Insider Trading

In the matter of trading in the shares of Palred Technologies Limited (Securities and Exchange Board of India) - In this case observed that having mutual friends on Facebook will form the basis of determination and to establish connection between the parties who have committed Insider Trading in Violation of SEBI (Prohibition of Insider Trading) Regulations, 2015. ...

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SEBI orders attachment of properties owned by Sahara India Red Estate & its directors

I further direct the attachment of all movable and immovable properties standing in the names of Shri Subrata Roy Sahara, Ms Vandana Bhargava, Shri Ravi Shanker Dubey and Shri Ashok Roy Choudhary with immediate effect. These individuals are directed to furnish details of all movable and immovable p...

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SEBI guide to implement Uniform membership structure across segments

Circular No. SEBI/HO/MIRSD/DOP/CIR/P/2019/14 - (11/01/2019) - Securities and Exchange Board of India CIRCULAR SEBI/HO/MIRSD/DOP/CIR/P/2019/14 January 11, 2019 To, 1. All Recognized Stock Exchanges 2. All Clearing Corporations Dear Sir / Madam, Sub: Uniform membership structure across segments 1. In cash segment, all the Stock Brokers are trading cum self-clear...

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SEBI (Foreign Portfolio Investors) (Third Amendment) Regulations, 2018

Notification No. SEBI/LAD-NRO/GN/ 2018/58 - (31/12/2018) - 1. These regulations may be called the Securities and Exchange Board of India (Foreign Portfolio Investors) (Third Amendment) Regulations, 2018. 2. They shall come into force on the date of their publication in the Official Gazette....

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SEBI Circular on adjustment in strike price on declaration of dividend

Circular No. CIR/MRD/DoP-1/P/00108/2018 - (05/07/2018) - Based on the recommendations of SMAC, it has been decided to review the mechanism of dividend adjustment for stock options. The adjustment in strike price shall be carried out in the following cases of declaration of dividends...

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SEBI proposes to amend takeover, buyback & Capital Disclosure Norms

PR No. 20/2018 - (21/06/2018) - The Board has approved certain amendments to SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011. As part of the amendments, it has been decided to grant additional time for upward revision of open offer price till one working day before the commencement of the tendering period....

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SEBI (Listing Obligations and Disclosure Requirements) (Amendment) Regulations, 2018

No. SEBI/LAD-NRO/GN/2018/10 - (09/05/2018) - Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Amendment) Regulations, 2018 shall come into force with effect from April 1, 2019....

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Recent Posts in "SEBI"

SEBI Discussion Paper on Review of Rights Issue Process

The objective of this discussion paper is to seek comments / views from the public and market intermediaries on Review of Rights Issue Process....

Read More
Posted Under: SEBI |

Review of SEBI (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015

CONSULTATION PAPER Review of SEBI (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015 A. Objective: 1. To seek public comments on the proposals relating to SEBI (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015 (hereinafter referred to as “ILDM Regulations”) with a view to, inter...

Read More
Posted Under: SEBI |

Postal Ballot Provisions

Postal Ballot- Applicable Provisions: ♠ Sec 110 of Companies Act,2013 ♠ Rule 20 and 22 of Companies (Management and Administration) Rules, 2014 ♠ SS-2 (Secretarial Standard on General Meeting) ♠ SEBI (LODR) Regulation, 2015 Meaning: Postal Ballot means voting by ballot, post or through electronic means. Applicability: It applies o...

Read More
Posted Under: SEBI |

Diverging corporate laws

The government of India recently constituted a committee to enhance and create more opportunities by reshaping the existing rules and regulations. This is in relation to the Company Law for which SEBI (Securities Exchange Board of India) has come up with amendments providing a phased timeline from October 1, 2018 to April 1, 2020 for mos...

Read More
Posted Under: SEBI |

Format of Certificate of Non-Disqualification of Directors for listed companies

CERTIFICATE OF NON-DISQUALIFICATION OF DIRECTORS (pursuant to Regulation 34(3) and Schedule V Para C clause (10)(i) of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015) To, The Members of (Name) (Registered Office) I/We have examined the relevant registers, records, forms, returns and disclosures received from ...

Read More
Posted Under: SEBI |

Extended version of secretarial compliance

BACKGROUND The SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 have been amended after the recommendation of the Kotak Committee to include the following Regulation: 24A: Secretarial Audit Every  listed  entity  and  its  material  unlisted  subsidiaries  incorporated  in  India  shall  undertake  sec...

Read More
Posted Under: SEBI |

Draft Format of Certificate of Non-Disqualification of Directors

Draft format for certificate under 10(i) of Part C of Schedule V of the SEBI (LODR) Regulations, 2015 According to SEBI LODR (fourth amendment) Regulation, which is effective from April 1, 2019, Every Listed Company is required to take a certificate from a Company Secretary in practice that none of the directors on the board […]...

Read More
Posted Under: SEBI |

Secretarial Audit As A Tool For Good Corporate Governance

Every Company, while carrying out its business activities, has to comply with the prescribed rules and regulations relating to the Companies Act, Securities laws, FEMA, Industry Specific laws and General and should also pursue the good governance practice Secretarial Audit covers non-financial aspects of the business having impact on the ...

Read More
Posted Under: SEBI |

Secretarial Compliance Report for listed entities and their material subsidiaries

The SEBI vide its Circular dated February 8, 2019, specified that the listed entity and its unlisted material subsidiaries shall continue to use the same Form No. MR-3 as required under Companies Act, 2013 and the Rules made thereunder for the purpose of compliance with Regulation 24A of SEBI (Listing Obligations and Disclosure Requiremen...

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Posted Under: SEBI |

AIFs- Funding Executable Ideas & Exceptional Talents

Alternative Investment Funds (AIF) are primarily the funds that are established with a defined purpose, considering the interests of the investees and the investors. ...

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Posted Under: SEBI |

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